How to use this Template:
1)Blank and highlighted spaces are shown throughout the document to indicate spaces where you should insert your agency/organization name, or change the text to reflect your services.
2)Underlined text indicates areas where you may assert your own local agency/organization authority. These are areas that differ from Federal Transit Administration Authority, and should be clearly differentiated from federal authority.
3)Notes and Helpful hints are scattered throughout the document and set apart with shaded boxes. These notes and hints will indicate whether it is a requirement or best practice.
4)SAMPLE DRUG AND ALCOHOL TESTING POLICY
COMPLIANT WITH 49 CFR PART 40 AND PART 655
TABLE OF CONTENTS
A. PURPOSE
B. APPLICABILITY
C. DEFINITIONS
D. EDUCATION AND TRAINING
E. PROHIBITED SUBSTANCES
F. PROHIBITED CONDUCT
G. DRUG STATUTE CONVICTION
H. TESTING REQUIREMENTS
I. DRUG TESTING PROCEDURES
J. ALCOHOL TESTING PROCEDURES
K. PRE-EMPLOYMENT TESTING
L. REASONABLE SUSPICION TESTING
M. POST-ACCIDENT TESTING
N. RANDOM TESTING
O. RETURN-TO-DUTY TESTING
P. FOLLOW-UP TESTING
Q. RESULT OF DRUG/ALCOHOL TEST
R. REPORTING OF POSITIVE RESULTS TO DEPARTMENT OF LICENSING
S. GRIEVANCE AND APPEAL
T. PROPER APPLICATION OF THE POLICY
U. INFORMATION DISCLOSURE
V. SYSTEM CONTACTS
Attachment 1 Safety-Sensitive Positions
Attachment 2 Alcohol Fact Sheet
DRUG AND ALCOHOL TESTING POLICY
______Adopted , [dd/mm/yyyy]
Underlined text = Agency/Organization requirements
Regular text = FTA requirements
A. PURPOSE
The ______provides public transit and paratransit services for the residents ______. Part of our mission is to ensure that this service is delivered safely, efficiently, and effectively by establishing a drug and alcohol-free work environment, and to ensure that the workplace remains free from the effects of drugs and alcohol in order to promote the health and safety of employees and the general public. In keeping with this mission, ______declares that the unlawful manufacture, distribution, dispense, possession, or use of controlled substances or misuse of alcohol is prohibited for all employees.
HINT: If your agency/organization has a zero tolerance policy, it should be stated in this introductory section.
HINT:All Underlined sections are suggested employer provisions and not required by the FTA. Agencies must decide if the sections should be deleted, remain, or if the provisions need to be changed to reflect current agency policy, (i.e., disciplinary actions).
Additionally, the purpose of this policy is to establish guidelines to maintain a drug and alcohol-free workplace in compliance with the Drug-Free Workplace Act of 1988, and the Omnibus Transportation Employee Testing Act of 1991. This policy is intended to comply with all applicable Federal regulations governing workplace anti-drug and alcohol programs in the transit industry. Specifically, the Federal Transit Administration (FTA) of the U.S. Department of Transportation has published 49 CFR Part 655, as amended, that mandates urine drug testing and breath alcohol testing for safety-sensitive positions, and prohibits performance of safety-sensitive functions when there is a positive test result. The U. S. Department of Transportation (USDOT) has also published 49 CFR Part 40, as amended, that sets standards for the collection and testing of urine and breath specimens.
Any provisions set forth in this policy that are included under the sole authority of ______and are not provided under the authority of the above named Federal regulations are underlined.
B. APPLICABILITY
This Drug and Alcohol Testing Policy applies to all safety-sensitive employees (full- or part-time) when performing any transportation-related business. ______employees that do not perform safety-sensitive functions are also covered under this policy under the sole authority of ______. A safety-sensitive function is any duty related to the safe operation of mass transit service including the operation of a revenue service vehicle (whether or not the vehicle is in revenue service), maintenance of a revenue service vehicle or equipment used in revenue service, security personnel who carry firearms, dispatchers or person controlling the movement of revenue service vehicles and any other transit employee who is required to hold a Commercial Drivers License. Maintenance functions include the repair, overhaul, and rebuild of engines, vehicles and/or equipment used in revenue service. A list of safety-sensitive positions that perform one or more of the above mentioned duties is provided in Attachment A. Supervisors are only safety sensitive if they perform one of the above functions.
C. DEFINITIONS
Accident means an occurrence associated with the operation of a revenue service vehicle even when not in revenue service in revenue service or which requires a Commercial Drivers License to operate, if as a result--
(1) A person dies;
(2) An individual suffers a bodily injury and immediately receives medical treatment away from the scene of the accident; or,
(3) One or more vehicles incurs disabling damage as the result of the occurrence and is transported away from the scene by a tow truck or other vehicle. For purposes of this definition, disabling damage means damage which precludes departure of any vehicle from the scene of the occurrence in its usual manner in daylight after simple repairs. Disabling damage includes damage to vehicles that could have been operated but would have been further damaged if so operated.This does not include damage which can be remedied temporarily at the scene of the occurrence without special tools or parts, tire disablement without other damage even if no spare tire is available, or damage to headlights, taillights, turn signals, horn, mirrors or windshield wipers that makes them inoperative.
Adulterated specimen. A specimen that contains a substance that is not expected to be present in human urine, or contains a substance expected to be present but is at a concentration so high that it is not consistent with human urine.
Alcohol means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols contained in any beverage, mixture, mouthwash, candy, food, preparation or medication.
Alcohol Concentration is expressed in terms of grams of alcohol per 210 liters of breath as measured by an evidential breath testing device.
Canceled Test is a drug test that has been declared invalid by a Medical Review Officer. A canceled test is neither positive nor negative.
Covered Employee means an employee who performs a safety-sensitive function including an applicant or transferee who is being considered for hire into a safety-sensitive function (See Attachment A for a list of covered employees), and other employees, applicants, or transferee that will not perform a safety-sensitive function but falls under the policy of the company’s own authority.
Designated Employer Representative (DER) An employee authorized by the employer to take immediate action to remove employees from safety-sensitive duties and to make required decisions in testing. The DER also receives test results and other communications for the employer, consistent with the requirements of 49 CFR Parts 40 and 655.
Department of Transportation (DOT) Department of the federal government which includes the US Coast Guard, Federal Transit Administration, Federal Railroad Administration, Federal Highway Administration, Federal Motor Carrier Safety Administration, Research and Special Programs, and the Office of the Secretary of Transportation.
Dilute specimen. A specimen with creatinine and specific gravity values that is lower than expected for human urine.
Disabling damage means damage which precludes departure of any vehicle from the scene of the occurrence in its usual manner in daylight after simple repairs. Disabling damage includes damage to vehicles that could have been operated but would have been further damaged if so operated. This does not include damage which can be remedied temporarily at the scene of the occurrence without special tools or parts, tire disablement without other damage even if no spare tire is available, or damage to headlights, taillights, turn signals, horn, mirrors or windshield wipers that makes them inoperative.
Evidentiary Breath Testing Device (EBT) A Device approved by the NHTSA for the evidential testing of breath at the 0.02 and the 0.04 alcohol concentrations. Approved devices are listed on the National Highway Traffic Safety Administration (NHTSA) conforming products list.
Medical Review Officer (MRO) means a licensed physician (medical doctor or doctor of osteopathy) responsible for receiving laboratory results generated by the drug testing program who has knowledge of substance abuse disorders, and has appropriate medical training to interpret and evaluate an individual's confirmed positive test result, together with his/her medical history, and any other relevant bio-medical information.
Negative Dilute A drug test result which is negative for the five drug/drug metabolites but has a specific gravity value lower than expected for human urine.
Negative test result for a drug test means a verified presence of the identified drug or its metabolite below the minimum levels specified in 49 CFR Part 40, as amended. An alcohol concentration of less than 0.02 BAC is a negative test result.
Non-negative test result is a test result found to be adulterated, substitute, invalid, or positive for drug/drug metabolites.
Performing (a safety-sensitive function) means a covered employee is considered to be performing a safety-sensitive function and includes any period in which he or she is actually performing, ready to perform, or immediately available to perform such functions.
Positive test result for a drug test means a verified presence of the identified drug or its metabolite at or above the minimum levels specified in 49 CFR Part 40, as amended. A positive alcohol test result means a confirmed alcohol concentration of 0.04 BAC or greater.
Prohibited drug means marijuana, cocaine, opiates, amphetamines, or phencyclidine at levels above the minimum thresholds specified in 49 CFR Part 40, as amended.
Revenue Service Vehicles include all transit vehicles that are used for passenger transportation service or that require a CDL to operate. Include all ancillary vehicles used in support of the transit system.
Safety-sensitive functions include (a) the operation of a transit revenue service vehicle even when the vehicle is not in revenue service; (b) the operation of a non-revenue service vehicle by an employee when the operation of such a vehicle requires the driver to hold a Commercial Drivers License (CDL); (c) maintaining a revenue service vehicle or equipment used in revenue service; (d) controlling the movement of a revenue service vehicle; and (e) carrying a firearm for security purposes.
Substance Abuse Professional (SAP) means a licensed physician (medical doctor or doctor of osteopathy) or licensed or certified psychologist, social worker, employee assistance professional, or addiction counselor (certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission or by the International Certification Reciprocity Consortium/Alcohol and other Drug Abuse) with knowledge of and clinical experience in the diagnosis and treatment of drug and alcohol related disorders.
Substituted specimen means a specimen with creatinine and specific gravity value that is so diminished that it is not consistent with normal human urine.
Test Refusal The following are considered a refusal to test if the employee:
REQUIRED: Your agency may choose to broadly describe test refusal by citing 49 CFR Part 40 instead of describing all of the different test refusal scenarios. If this is your practice, you must make copies of 49 CFR Part 40 available to your covered employees.
OR
BEST PRACTICE: Your agency may choose to go above the minimum requirements of citing Part 40 by describing the different circumstances of test refusal. By doing this you are clearly communicating the roles and expectations your agency has for employees covered by your drug and alcohol testing policy.
• Fails to appear for any drug or alcohol test (except a pre-employment test) within a reasonable time, as determined by the employer, consistent with applicable DOT agency regulations, after being directed to do so by the employer. This includes the failure of an employee (including an owner-operator) to appear for a test when called by a C/TPA
• Fails to remain at the testing site until the testing process is complete; Provided, That an employee who leaves the testing site before the testing process commences for a pre-employment test is not deemed to have refused to test;
• Fails to provide a urine or saliva/breath specimen for any drug or alcohol test, required by this part or DOT agency regulations; Provided, That an employee who does not provide a urine or saliva/breath specimen because he or she has left the testing site before the testing process commences (see §40.63 (c)) for a pre-employment test is not deemed to have refused to test;
•Tampers, adulterates, or substitutes a specimen;
• In the case of a directly observed or monitored collection in a drug test, fails to permit the observation or monitoring of your provision of a specimen
• Fails to provide a sufficient amount of urine or breath when directed, and it has been determined, through a required medical evaluation, that there was no adequate medical explanation for the failure
• Fails or declines to take an additional drug or alcohol test the employer or collector has directed you to take
• Fails to undergo a medical examination or evaluation, as directed by the MRO as part of the verification process, or as directed by the DER under. In the case of a pre-employment drug test, the employee is deemed to have refused to test on this basis only if the pre-employment test is conducted following a contingent offer of employment. If there was no contingent offer of employment, the MRO will cancel the test
• Fails to cooperate with any part of the testing process (e.g., refuse to empty pockets when directed by the collector, behaves in a confrontational way that disrupts the collection process, fails to wash hands after being directed to do so by the collector).
• For an observed collection, fails to follow the observer’s instructions to raise your clothing above the waist, lower clothing and underpants, and to turn around to permit the observer to determine if you have any type of prosthetic or other device that could be used to interfere with the collection process.
• Possesses or wears a prosthetic or other device that could be used to interfere with the collection process.
• Admits to the collector or MRO that you adulterated or substituted the specimen.As an employee, if the MRO reports that you have a verified adulterated or substituted test result, you have refused to take a drug test.Further, if you refuse to take a drug or alcohol test, you incur the consequences specified under DOT agency regulations for a violation of those DOT agency regulations.
•Fails or refuses to sign the certification at Step 2 of the alcohol testing form.
•Leaves the scene of an accident without just cause prior to submitting to a test
Verified negative test means a drug test result reviewed by a medical review officer and determined to have no evidence of prohibited drug use above the minimum cutoff levels established by the Department of Health and Human Services (HHS).
Verified positive test means a drug test result reviewed by a medical review officer and determined to have evidence of prohibited drug use above the minimum cutoff levels specified in 49 CFR Part 40 as revised.
Validity testing is the evaluation of the specimen to determine if it is consistent with normal human urine. The purpose of validity testing is to determine whether certain adulterants or foreign substances were added to the urine, if the urine was diluted, or if the specimen was substituted.
D. EDUCATION AND TRAINING
Every covered employee will receive a copy of this policy and will have ready access to the corresponding federal regulations including 49 CFR Parts 655 and 40, as amended. In addition, all covered employees will undergo a minimum of 60 minutes of training on the signs and symptoms of drug use including the effects and consequences of drug use on personal health, safety, and the work environment. The training also includes manifestations and behavioral cues that may indicate prohibited drug use.
All supervisory personnel or company officials who are in a position to determine employee fitness for duty will receive 60 minutes of reasonable suspicion training on the physical, behavioral, and performance indicators of probable drug use and 60 minutes of additional reasonable suspicion training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse. Under the ______’s own authority, supervisory personnel will also be trained on how to intervene constructively and how to effectively integrate an employee back into his/her work group following intervention and/or treatment. Information on the signs, symptoms, health effects, and consequences of alcohol misuse is presented in Attachment B of this policy.
E. PROHIBITED SUBSTANCES
Prohibited substances addressed by this policy include the following.
(1) Illegally Used Controlled Substance or Drugs Under the Drug-Free Workplace Act of 1988 any drug or any substance identified in Schedule I through V of Section 202 of the Controlled Substance Act (21 U.S.C. 812), and as further defined by 21 CFR 1300.11 through 1300.15 is prohibited at all times in the workplace unless a legal prescription has been written for the substance. This includes, but is not limited to: marijuana, amphetamines, opiates, phencyclidine (PCP), and cocaine, as well as any drug not approved for medical use by the U.S. Drug Enforcement Administration or the U.S. Food and Drug Administration. Illegal use includes use of any illegal drug, misuse of legally prescribed drugs, and use of illegally obtained prescription drugs.
Federal Transit Administration drug testing regulations (49 CFR Part 655) require that all covered employees be tested for marijuana, cocaine, amphetamines, opiates, and phencyclidine as described in Section H of this policy. Illegal use of these five drugs is prohibited at all times, and thus covered employees may be tested for these drugs anytime that they are on duty.
(2) Legal Drugs: The appropriate use of legally prescribed drugs and non-prescription medications is not prohibited. However, the use of any substance which carries a warning label indicating that mental functioning, motor skills, or judgment may be adversely affected must be reported to a ______supervisor and the employee is required to provide a written release from his/her doctor or pharmacist indicating that the employee can perform his/her safety-sensitive functions.